James Allen
James Allen is a registered investment advisor at Tartan Financial Group, LLC, based in Andover, KS, with 14 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $10.0M | 1.00% |
| $10M+ | 0.75% |
Fees are generally negotiable based on account size and complexity.
Fee Estimator
Location
Andover, KS
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an insurance agent and founder of Tartan Financial Group LLC, dedicating a few hours per week to this role. He also works full-time as an advisory representative of a RIA called CIRA and is an independent insurance agent for various independent insurance companies, dedicating minimal time to this role.
Employment History
Current Registrations
Tartan Financial Group, LLC
Previous Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Morgan Stanley
Morgan StanleyBroker
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
Mariner Wealth Advisors, LLC
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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